Attachment 1_Contract Surveillance Plan.docx

Attachment 1 Enclosure (2) N68502021R0004

Contract Surveillance Plan AIR-6.8 Corporate Business Office (CBO) / AIR-6.0 Logistics Acquisition Cell

1. Purpose

This Contract Surveillance Plan is a Government developed and applied document used to make sure the systematic quality assurance assessment methods are used in the administration of the Statement of Work(SOW). The intent is to ensure that the Government receives the quality of services and products for tasks identified in the SOW.

The contract requirement is for the Corporate Business Office (CBO) and Logistics Acquisition Cell support services for AIR 6.8/6.0. Support services to be provided under this effort include acquisition management, planning, execution, administration, process automation, software development, business financial management, and operational support.

2. Authority Authority for the issuance of this Contract Surveillance Plan is provided under the basic contract, Section E – Inspection and Acceptance, which provides for inspections and acceptance of the services and documentation called for in task orders, to be executed by the Contracting Officer, or a duly authorized representative.

3. Scope To fully understand the roles and responsibilities of the parties, it is important to first define the distinction in terminology between Quality Control Plan and the Contract Surveillance Plan. The Contractor, and not the Government, is responsible for the management and quality control actions necessary to meet the quality standards set forth by the contract.

The Plan is put in place to provide Government surveillance oversight of the Contractor’s efforts to assure that they are timely, effective, and are delivering the results specified in the contract.

4. Government Resources Outlined below are the following definitions of the roles and responsibilities for Government resources as applicable to this CONTRACT SURVEILLANCE PLAN:

Contracting Officer – A person duly appointed with the authority to enter into (Procuring Contracting Officer (PCO)) or administer (Administrative Contracting Officer (ACO)) contracts and make related determination and findings on behalf of the Government. The ACO will be designated in the resulting order. Contracting Officers are designated via a written warrant, which sets forth limitations of authority.

Contracting Officer’s Representative (COR) – An individual appointed in writing by the PCO to act as their authorized representative to assist in administering the contract. The COR will be appointed in the basic contract. The limitations of authority are contained in a written letter of appointment.

5. Responsibilities The following Government resources shall have responsibility for the implementation of this Contract Surveillance Plan.

Contracting Officer – The Contracting Officer ensures performance of all necessary actions for effective contracting, ensures compliance with the terms of the contract, and safeguards the interests of the United States in the contractual relationship. It is the Contracting Officer that assures the Contractor receives impartial, fair, and equitable treatment under the contract. The Contracting Officer is ultimately responsible for the final determination of the adequacy of the Contractor’s performance.

Contracting Officer’s Representative (COR) – The COR is responsible for technical administration of the contract and assures proper Government surveillance of the Contractor’s performance. The COR is not empowered to make any contractual commitments or to authorize any changes on the Government’s behalf. Any changes that the Contractor deems may affect contract price, terms, or conditions shall be referred to the Contracting Officer for action.

6. Methods of QA Surveillance

1. Methods of Surveillance

a. Contractor Performance Assessment Reporting System (CPARS) – The marketplace for acquisition, software, and business/financial services is very competitive. As such, the successful Offeror has a vested interest in the Government-generated CPARS ratings under this contract. Additionally, the CPARS ratings will be the determinant in issuing additional orders or exercising an option. For this procurement the Government will address the quality of product or service, schedule, cost control, business relations, management, and other important areas. As this information may affect future source selections throughout DoD, and the continuation of the task order, the annual Government assessment will be used appropriately as an additional performance oversight and communication tool with the CONTRACT SURVEILLANCE PLAN.

b. Contract Surveillance Plan – The below listed methods of surveillance will be used by the COR in the technical administration of this plan. In addition to the below instructions, the form to be used for documentation of quality assurance surveillance is the Semi-Annual Contract Surveillance Plan.

c. Observation, Feedback, and Review – Unscheduled observation of products and services provided by the Contractor on site and recurring review of Contractor submitted reports and documentation identified in CDRLs will be performed by the COR and ACOR. Feedback from the Technical Point of Contact (TPOC) will be collected and used by the COR to document surveillance of technical performance.

7. Surveillance The Surveillance Activity Checklist, Enclosure (1), will be provided to the Contractor on a monthly basis, as feedback on the performance of their management and quality control actions for meeting the quality standards set forth by the contract.

8. Documentation In addition to providing monthly reports to the Contracting Officer, the COR will maintain a complete Quality Assurance file. The file will contain copies of all reports, evaluations, recommendations, and any actions related to the Government’s performance of the quality assurance function, including the originals of the Monthly Customer Survey Checklists provided herein as Enclosure (3). All such records will be maintained for the life of the contract. The COR shall forward these records to the Contracting Officer at termination or completion of the order.

9. Enclosures Enclosure (1) – Surveillance Activity Checklist

N6852021R0004

1 For Official Use Only

2 For Official Use Only

SURVEILLANCE ACTIVITY CHECKLIST

All SOW/CDRL tasks, including SOW/CDRL sub-tasks, will be assessed based on CPARs rating guidance focusing on the following.

Quality of Product or Service – Assess the Contractor’s effort to transform operational needs and requirements into an integrated solution. Areas of focus may include the planning and management of program tasks, the quality of support provided throughout all phases of contract execution, the integration of program management specialties, management of interfaces, and the management of a totally integrated effort of all program management concerns to meet cost, performance, and schedule objectives. Assess how successfully the Contractor meets program quality.

Schedule – Assess the Contractor’s adherence to the required delivery schedule by assessing the Contractor’s efforts during the assessment period that contribute to or effect the schedule variance. Also address significance of scheduled events (i.e., design reviews), discuss causes, and assess the effectiveness of Contractor corrective actions.

Cost Control – Assess the Contractor’s effectiveness in forecasting, managing, and controlling contract cost. Is the Contractor experiencing cost growth or underruns? If so, discuss the causes and Contractor-proposed solutions for the cost overruns. For contracts where task or contract sizing is based upon Contractor provided person-hour estimates, the relationship of these estimates to ultimate cost should be assessed. In addition, the extent to which the Contractor demonstrates a sense of cost responsibility, through the efficient use of resources in each work effort should be assessed.

Management – Assess the integration and coordination of all activity needed to execute the contract or order, specifically the timeliness, completeness, and quality of problem identification, corrective action plans, proposal submittals, the Contractor’s history of reasonable and cooperative behavior (to include timely identification of issues in controversy), customer satisfaction, timely award, and management of subcontracts.

Assess the timeliness, completeness, and quality of problem identification, corrective action plans, proposal submittals (especially responses to change orders, Engineering Change Proposals (ECPs), the Contractor's history of reasonable and cooperative behavior, effective business relations, and customer satisfaction). Consider the Contractor’s responsiveness to the program as it relates to meeting contract or order requirements during the period covered by the report.

Assess the extent to which the Contractor: discharges its responsibility for integration and coordination of all activity needed to execute the contract or order; identifies and applies resources required to meet schedule requirements; assigns responsibility for tasks and actions required by contract or order; communicates appropriate information to affected program elements in a timely manner. Assess the Contractor’s risk management practices, especially the ability to identify risks, and to formulate and implement risk mitigation plans. If applicable, identify any other areas that are unique to the contract or order, or that cannot be captured elsewhere under the Management element.

Assess the Contractor’s performance in selecting, retaining, supporting, and replacing, when necessary, key personnel.

Regulatory Compliance – Assess compliance with all terms and conditions in the contract or order relating to applicable regulations and codes. Consider aspects of performance such as compliance with financial, environmental (example: Clean Air Act, Clean Water Act), safety, and labor regulations, as well as any other reporting requirements in the contract.

Other areas – Assess additional evaluation areas unique to the contract, or that cannot be captured elsewhere.

Monthly Surveillance:

The COR will perform a monthly assessment of Quality, Schedule, Cost Control, Business Relations, Management, and Other Areas as applicable utilizing the CPARS evaluation rating definitions listed below.

The evaluation ratings definitions are as follows:

Exceptional – Performance meets contractual requirements and exceeds many to the Government’s benefit. The contractual performance of the task and sub-task being assessed was accomplished with few minor problems for which corrective actions taken by the Contractor were highly effective.

Very Good - Performance meets contractual requirements and exceeds some to the Government’s benefit. The contractual performance of the task and sub-task being assessed was accomplished with some minor problems for which corrective actions taken by the Contractor were effective.

Satisfactory - Performance meets contractual requirements. The contractual performance of the task and sub-task contain some minor problems for which corrective actions taken by the Contractor appear or were satisfactory.

Marginal - Performance does not meet contractual requirements. The contractual performance of the task and sub-task being assessed reflect a serious problem for which the Contractor has not yet identified corrective actions. The Contractor’s proposed actions appear only marginally effective or were not fully implemented.

Unsatisfactory – Performance does not meet most contractual requirements and recovery is not likely in a timely manner. The contractual performance of the task or sub-task contains a serious problem(s) for which the Contractor’s actions appear or were ineffective.

Surveillance Activity Checklist

Staffing Stability and Resource Planning Management of Personnel (retention, replacement, etc) does not negatively influence quality or timelines of products and services across the program.

Surveillance of monthly status report by COR;

Monthly TPOC/ customer feedback No more than two (2) instances per quarter where major adjustment to deliverable is required by the Government. 98% of errors/omissions identified by the Government are corrected or an acceptable Corrective Action Plan is provided within five (5) working days.

NLT the 15th

Consistent delivery of high quality deliverables

1. Deliverables were delivered accurate, complete and incorporate all pertinent data with no or minor adjustments required by the Government.

2. Any errors /omissions identified by the Government are corrected within ten (10) business days

Surveillance a random sample of CDRLS by COR;

No more than two (2) instances per QTR where major adjustment to deliverable is required by the Government. Contractor shall immediately correct or establish (Government) acceptable Corrective Action Plan within five (5) working days.

NLT the 15th

Required deliverables and services were provided on schedule Services and deliverables were submitted according to, or ahead of, agreed upon schedule. Exceptions were due to circumstances outside of the Contractor’s control.

Surveillance a random sample of CDRLS by COR;

No more than two (2) untimely corrective actions or untimely notifications per QTR during the task order performance period. Contractor shall immediately correct or establish (Government) acceptable Corrective Action Plan within five (5) working days.

NLT the 15th

Positive Business Relations, Customer Satisfaction, Timely, Open Communication, and effective Task Order performance coordination with other supporting vendors.

1. The Contractor was responsive to Government concerns and promptly applied corrective action to performance issues.

2. The Contractor provided timely notification of issues and/or items requiring Government actions

Monthly Customer Feedback COR/TPOC Input No more than two (2) untimely corrective actions or untimely notifications during per QTR during the task order performance period. Contractor shall immediately correct or establish (Government) acceptable Corrective Action Plan within five (5) working days

NLT the 15th

Consistent delivery of high quality deliverables

1. Deliverables were delivered accurate, complete and incorporate all pertinent data with no or minor adjustments required by the Government.

2. Any errors /omissions identified by the Government are corrected within ten (10) business days.

Surveillance a random sample of CDRLS by COR;

No more than two (2) instances per QTR where major adjustment to deliverable is required by the Government. Contractor shall immediately correct or establish (Government) acceptable Corrective Action Plan within five (5) working days.

NLT the 15th

Timely, Accurate and Complete Program Reporting The Monthly Status Report is delivered on time and meets all SOW content requirements.

Surveillance of monthly status report by COR;

95% accuracy during the task order performance period.

NLT the 15th

Monthly Summary of Ratings:

Quality

Schedule

Number of Exceptional

Number of Exceptional

Number of Very Good

Number of Very Good

Number of Satisfactory

Number of Satisfactory

Number of Marginal

Number of Marginal

Number of Unsatisfactory

Number of Unsatisfactory

Cost Control

Management

Number of Exceptional

Number of Exceptional

Number of Very Good

Number of Very Good

Number of Satisfactory

Number of Satisfactory

Number of Marginal

Number of Marginal

Number of Unsatisfactory

Number of Unsatisfactory

Regulatory Compliance

Other Areas

Number of Exceptional

Number of Exceptional

Number of Very Good

Number of Very Good

Number of Satisfactory

Number of Satisfactory

Number of Marginal

Number of Marginal

Number of Unsatisfactory

Number of Unsatisfactory

6 For Official Use Only

ANNUAL CPARS SURVEILLANCE

Surveillance will be completed annually with Contract Performance Assessment Report (CPAR) across all task orders.

Assessment Description

Planned Date Completed Summary Rating Results

· Review of Monthly CDRLS